| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| CEPA ALLIANCE SECURITIES LIMITED | RO | 就證券提供意見 | 2024-05-29 | - |
| RO | 證券交易 | 2024-05-29 | - | |
| CEPAALLIANCE ASSET MANAGEMENT LIMITED | RO | 提供資產管理 | 2024-05-29 | - |
| SBI E2-Capital Securities Limited | RO | 就證券提供意見 | 2023-01-10 | - |
| RO | 證券交易 | 2023-01-10 | - | |
| BUSINESS SECURITIES LIMITED | RO | 就證券提供意見 | 2020-06-18 | 2022-06-30 |
| RO | 證券交易 | 2020-06-18 | 2022-06-30 | |
| SBI China Capital Asset Management Limited | Rep | 提供資產管理 | 2015-03-20 | 2018-10-23 |
| SBI China Capital Financial Services Limited | RO | 就證券提供意見 | 2008-09-19 | 2019-04-30 |
| RO | 提供資產管理 | 2008-09-19 | 2019-04-30 | |
| SBI China Capital Commodities Limited | RO | 提供資產管理 | 2008-03-11 | 2013-02-28 |
| SBI China Capital Securities Limited | RO | 提供資產管理 | 2008-03-11 | 2011-09-30 |
| SBI China Capital Commodities Limited | RO | 就期貨合約提供意見 | 2008-02-25 | 2013-02-28 |
| RO | 期貨合約交易 | 2008-02-25 | 2013-02-28 | |
| SBI China Capital Financial Services Limited | RO | 證券交易 | 2008-02-25 | 2019-04-30 |
| SBI China Capital Securities Limited | RO | 就證券提供意見 | 2008-02-25 | 2011-09-30 |
| RO | 證券交易 | 2008-02-25 | 2011-09-30 |
已採集記錄中暫無金管局登記。